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6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
9 Aug 2012, 7:17 am
Goldman Sachs disclosed in a securities filing that an investigation into a $1.3 billion subprime mortgage deal in 2006 has ended without any enforcement action by the Securities and Exchange Commission. [read post]
19 Apr 2010, 10:49 am
Fabrice Tourre, the 31-year-old Goldman Sachs vice president cited by the Securities and Exchange Commission in their accusation of securities fraud against the bank, followed a beaten path from the French grandes ecoles to Wall Street. [read post]
31 Jan 2012, 12:24 pm
The hedge fund manager David Einhorn settled securities fraud charges with Britain's financial regulator, but it is unlikely the Securities and Exchange Commission would pursue similar charges against him. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
23 Apr 2010, 5:00 pm
The Securities and Exchange Commission's inspector general said Friday that he would investigate the timing of the agency's securities fraud case against Goldman Sachs. [read post]
27 Jun 2024, 7:00 am
The Supreme Court stripped the Securities and Exchange Commission of a major tool in fighting securities fraud. [read post]
6 Jun 2008, 1:35 pm
Part of his New Deal legislation to regulate the markets, the Act founded the Securities and Exchange Commission and put curbs on indiscriminate or criminal trading by brokers. [read post]
3 Jul 2015, 6:01 am
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities listed on U.S. stock exchanges to adopt and enforce clawback policies applicable to incentive-based compensation received by current and former executives in the three-year period preceding the date the issuer is required to prepare an accounting restatement due to material noncompliance with financial reporting requirements. [read post]
31 Jul 2020, 4:00 am
Zipper) appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
28 Jun 2024, 12:15 am
Yesterday, the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh Amendment to the U.S. [read post]
4 Jan 2011, 2:00 am
Then just last week, Peter Lattman, a reporter with The New York Times wrote a story reporting that the Securities and Exchange Commission has sent information requests to persons trading in the shares of Facebook, Inc. and three other companies. [read post]
16 Oct 2012, 9:30 pm
Talk of a securities market “kill switch” dominated discussions in a recent Securities and Exchange Commission (SEC) Market Technology Roundtable. [read post]
29 Jun 2012, 11:35 am
Securities and Exchange Commission announced the adoption of new rules and amendments to its proxy disclosure rules that would generally prohibit national securities exchanges from listing the equity securities of an issuer that is not in compliance with compensation committee independence requirements. [read post]
7 Oct 2020, 5:50 am
Securities and Exchange Commission (SEC) enforcement actions involving unregistered securities offerings. [read post]
13 Jun 2018, 1:11 pm
Facts of the Case A case was filed with the Securities and Exchange Commission due to DeVere USA, Inc. [read post]
14 Dec 2022, 6:08 am
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. [read post]
10 Oct 2023, 10:33 am
The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. [read post]
14 Dec 2022, 10:11 am
The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. [read post]
